SEC-PR-2024-45 (APR. 4, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-45 Download: SEC-PR-2024-45 ⊗ (PDF) PRESS RELEASE | 2024-45 Register for the SEC’s 43rd Annual Small Business Forum April 16-18 Washington D.C., April 4, 2024 — The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation ⊗ will host the SEC’s 43rd Annual Government-Business Forum on Small […]
Category: SEC-24
SEC-PR-2024-44 (APR. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-44 Download: SEC-PR-2024-44 ⊗ (PDF) PRESS RELEASE | 2024-44 SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures Washington D.C., April 3, 2024 — The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve […]
SEC-PR-2024-43 (APR. 2, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-43 Download: SEC-PR-2024-43 ⊗ (PDF) PRESS RELEASE | 2024-43 SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month. Washington D.C., April 2, 2024 — The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability […]
SEC-PR-2024-42 (MAR. 27, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-42 Download: SEC-PR-2024-42 ⊗ (PDF) PRESS RELEASE | 2024-42 SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Washington D.C., March 27, 2024 — The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet […]
SEC-PR-2024-40 (MAR. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-40 Download: SEC-PR-2024-40 ⊗ (PDF) PRESS RELEASE | 2024-40 SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading Washington D.C., March 26, 2024 — The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company […]
SEC-PR-2024-41 (MAR. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-41 Download: SEC-PR-2024-41 ⊗ (PDF) PRESS RELEASE | 2024-41 SEC Seeks Candidates for Investor Advisory Committee Washington D.C., March 26, 2024 — The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee ⊗ to help protect investors and improve securities regulations. The Committee was established […]
SEC-PR-2024-39 (MAR. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-39 Download: SEC-PR-2024-39 ⊗ (PDF) PRESS RELEASE | 2024-39 SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress Washington D.C., March 21, 2024 — As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and […]
SEC-PR-2024-38 (MAR. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-38 Download: SEC-PR-2024-38 ⊗ (PDF) PRESS RELEASE | 2024-38 SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College Washington D.C., March 19, 2024 — The Securities and Exchange Commission today announced that it will join the North American Securities Administrators […]
SEC-PR-2024-37 (MAR. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-37 Download: SEC-PR-2024-37 ⊗ (PDF) PRESS RELEASE | 2024-37 Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges Washington D.C., March 19, 2024 — The Securities and Exchange Commission today announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million […]
SEC-PR-2024-36 (MAR. 18, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-36 Download: SEC-PR-2024-36 (PDF) PRESS RELEASE | 2024-36 SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence Washington D.C., March 18, 2024 — The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions […]